Tag: FINRA arbitration
How to file a FINRA/NASD Complaint
Whether you realized it at the time or not, when you established your brokerage account, you likely entered into an arbitration provision...
Connecticut Securities Laws
Each state has its own securities laws. The following are selected sections of the Connecticut securities laws that are generally...
FINRA Arbitration of Employment Discrimination Claims
Can an employee waive his/her right to access to a court for statutory discrimination claims and be required to arbitrate such a claim? The...
Discovery Requirements in FINRA Arbitrations
Clients often ask, “if I file a securities fraud claim against my broker-dealer, what documents will I have to produce.” Every...
Recent Changes to the FINRA Code of Arbitration
The Securities and Exchange Commission (SEC) has recently approved several amendments to the Financial Industry Regulatory Authority...
